Louis Currie

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-08-21
NJ	RA	APPROVED	2016-02-23

TX RA
APPROVED_RES

Since 2024-08-21
NJ RA
APPROVED

Since 2016-02-23

Branch Locations

1604 E Main St, Spartanburg, SC 29307 • United States

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Howell, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	07/2009	Present

07/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Other Businesses

I*2405271 Entity Type: Entity For Profit Name of OBA: LC TCG Rips LLC Address: Howell, New Jersey Investment Related: No Position, Title, Association: Owner Employee Start Date: 04/22/2025 Number of Hours: 20, Weekly Number of Hours during trading: 0, Weekly Duties: Buy and Sell Pokemon Cards Sourcing inventory, selling inventory online and at local shows. Managing finances.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-02-19

S66 Uniform Combined State Law Examination

2016-02-19

View on SEC IAPD